Compliance Officer (SFC Type 1, 4, 9)

Unique Technology Service International Limited; Hong Kong Island; On-site; HKD 450,000 - 750,000; Full time

Job summary

Unique Technology Service International Limited in Hong Kong seeks a seasoned Compliance Officer to deliver daily advisory on SFC Type 1/4/9 activities, manage licensing, and lead policy and training initiatives.

You will assess regulatory risks, liaise with SFC, and ensure timely filings while refining governance frameworks across the firm.

Qualifications

• Bachelor’s degree or above in Law, Finance, Accounting, Business or related discipline.
• Minimum 5 years of compliance experience at an SFC-licensed firm/regulatory body/lac firm.
• Hands-on experience with SFC Type 1, 4 and 9 regulated activities.

Responsibilities

• Provide daily, expert compliance advisory to business units on SFC regulated activities.
• Identify and report compliance risks and implement control measures.
• Liaise with SFC as primary contact for licensing, notifications and inquiries.
• Manage SFC licensing matters including RO and key personnel changes.
• Draft and submit regulatory filings and reports accurately and on time.
• Draft, review and refine firm-wide compliance policies and procedures.
• Oversee AML/CTF monitoring, surveillance and staff trading controls.
• Deliver compliance training and support internal investigations or whistleblowing.
• Support the Department Head with ad-hoc compliance projects.

Skills

SFC Type 1/4/9 experience

Regulatory risk assessment

English & Chinese communication

MS Office proficiency

Education

Bachelor’s degree in Law/Finance/Accounting/Business

Job description

1. Compliance Advisory & Risk Management

• Deliver daily, expert compliance advisory to business units on matters pertaining to SFC Type 1, 4, and 9 regulated activities.
• Identify, assess, and report on compliance risks inherent in business operations, new products, and strategic initiatives, and implement effective control measures.
• Conduct thorough compliance reviews of internal policies, significant business decisions, and legal/external agreements, providing actionable and pragmatic advice.
• Serve as a primary point of contact with the Securities and Futures Commission (SFC), handling day-to-day communication, regulatory notifications, inquiries, and complaints.
• Manage all SFC licensing matters, including new applications, change of Responsible Officers (ROs) and key personnel, and maintaining accurate records.
• Prepare, review, and submit accurate and timely regulatory filings and reports.

3. Compliance Framework & Policy Enhancement

• Assist in drafting, reviewing, and continuously refining the firm’s compliance policies, operational procedures, and business workflows to ensure they remain current and effective.
• Contribute to the establishment and maintenance of the firm's overall compliance management framework, aligning with the latest regulatory expectations.

4. Thematic Compliance Controls & Surveillance

• Administer and oversee specialized compliance functions, including the maintenance of Chinese Walls, conflict of interest management, insider trading controls, and the governance of restricted/watch lists.
• Manage and execute the firm’s staff trading monitoring program and other targeted compliance surveillance activities, following up on risk rectification and control enhancements.
• Organize and implement Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF) monitoring and controls.

5. Monitoring, Inspection & Reporting

• Plan and conduct on-site compliance inspections and independent evaluations of business activities and staff professional conduct.
• Identify potential weaknesses and procedural gaps, and propose robust, practical remedial recommendations.
• Track and analyze SFC regulatory updates and consultation papers, evaluate their business impact, and implement necessary policy adjustments.

6. Culture, Training & General Support

• Design, organize, and deliver comprehensive compliance training programs to enhance firm-wide awareness and understanding of regulatory obligations.
• Provide compliance consultation to staff and assist in handling internal complaints or whistleblowing reports regarding non-compliance.
• Support the Department Head in completing ad-hoc compliance projects and other key tasks as assigned.

Requirements

• Qualifications & Experience:
  • Bachelor’s degree or above in Law, Finance, Accounting, Business, or a related discipline.
  • A minimum of 5 yearsof relevant compliance experience gained at an SFC-licensed corporation, regulatory body, law firm, or professional compliance consultancy.
  • Proven, hands-on experience with SFC Type 1, 4, and 9 regulated businesses, including a deep understanding of their operational workflows and core compliance risks.
• Technical Proficiency:
  • In-depth knowledge of the Securities and Futures Ordinance (SFO), Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF) regulations, and relevant SFC Codes and Guidelines.
  • Strong analytical ability and sound, pragmatic compliance judgment.
• Language & Communication:
  • Exceptional written and spoken English and Chinese (Cantonese and Mandarin).
  • Proven ability to draft precise, clear, and rigorous compliance opinions, regulatory submissions, and internal policies in both languages.
• Core Competencies & Attributes:
  • Independent & Proactive:Ability to independently interpret complex regulatory requirements and effectively translate them into actionable internal operational guidelines.
  • Meticulous & Resilient:A detailed-oriented work ethic with the ability to manage multiple priorities and deliver high-quality results under pressure.
  • Strategic & Collaborative:Strong logical thinking, sound judgment, and excellent cross-departmental coordination skills to balance compliance principles with business objectives.
  • Integrity & Ethics:Uphold the highest standards of professional ethics and maintain strict confidentiality regarding the firm's trade secrets and proprietary information.
  • Technical Skills:Proficient in MS Office applications.

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• How many years' experience do you have as a compliance officer?